SEC Form 4 · accession 0001225208-18-015860
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Catanese
Officer — SVP, Chief Risk Officer
Period of report
Nov 21, 2018
Accepted (ET)
Nov 26, 2018 · 9:45 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720005
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 21, 2018 | M | 5,000 | $48.20 | A | 11,278 | D | |
| Common StockF1 | Nov 21, 2018 | M | 2,000 | $0.00 | A | 13,278 | D | |
| Common Stock | Nov 21, 2018 | F | 487 | $76.10 | D | 12,791 | D | |
| Common StockF2 | holding | — | — | — | 31 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $48.20 | Nov 21, 2018 | M | 5,000 | D | — | Nov 21, 2020 | Common Stock | 5,000 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Nov 21, 2018 | M | 2,000 | D | — | Nov 21, 2018 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 18, 2018.
- F3The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
- F4The restricted stock units vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
Remarks
This Form 4 reports (i) the exercise of employee stock options by the reporting person, (ii) the partial vesting of RSUs awarded to the reporting person on November 21, 2013 and (iii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting.